Mgr-Secs Processing/Mail/Archive

Career Opportunities at

Penson Financial Services, Inc.

 

Penson Financial Services, Inc. is one of the largest correspondent clearing firms in the securities industry where people come first. We have built our reputation by providing extraordinary customer service and cutting edge Internet technology to the broker dealer community. Our corporate office is located in downtown Dallas. Due to dynamic growth, we are seeking talented individuals to fill open positions at our firm. 

 

 

We currently have an opening for an Manager - Securities Processing/Mailroom



The Securities Processing/Mailroom/Archives Maintenance Manager is responsible for managing the day to day operations of the firm’s back-office and supervises a staff of 21-25 operations and/or sales support personnel.

Position Responsibilities:

1. Supervises assigned personnel, allocates work and makes decisions regarding employment, performance appraisals, training and development, salary recommendations, promotions and transfers

2. Responsible for the overall management of the firm’s back-office to include the development, revision, and implementation of department policies and procedures, also ensuring that best practices and internal control methodologies are appropriately applied

3. Responsible for brokerage account transaction processing of the following areas: Securities Processing including Corporate Actions necessary to process certificates, New York Window deliveries, DWAC/DRS, Employee Stock Option Processing and reconciliations to accounts, ensuring that corrections are made for any trade errors. This includes working with other departments to ensure we are in balance daily.

4. Responsible for the mailroom operations and archives maintenance.

5. Provides reports to Senior Management on internal operations and goals

6. Coordinates the implementation of system enhancements to the appropriate department to ensure latest procedures and tools are being utilized

7. Oversees electronic workflows to ensure production is procedurally correct

8. Develops and implements processes and procedures for the department workflow

9. Answers general securities questions from clients

Candidates must have the following qualifications:

1. High School Diploma or its equivalent

2. 3+ years job related experience

3. Proven ability to lead motivate, and provide training to staff

4. Ability to communicate with customers, co-workers, and various business contacts in a courteous and professional manner

5. Skill in utilizing various software packages such as Microsoft Office, clearing firm workstation software, and Phase3

6. Displays relentless focus on customer service and customer satisfaction

7. Holds self accountable for high personal and professional standards

8. Must be detail-oriented

9. Ability to organize and manage multiple priorities/tasks simultaneously in a fast-paced environment

10. Excellent interpersonal, oral and written communication skills

11. Excellent analytical and problem solving skills

12. Demonstrated ability to handle administrative details and routine day-to-day issues independently, assuming responsibility without direct supervision

13. Computer proficiency in Word, Excel and Outlook

14. Demonstrated ability to handle complex situations independently

Additional qualifications preferred but not required:

1. Bachelor’s degree in Business Administration, Finance or related field is preferred but not required.

Apply to http://www.penson.com/careers.php.  The job ID is 491.